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CEO Charged With Using Secret Accounts for Insider Trading in Company Stock
September 20, 2017The Securities and Exchange Commission today charged the former CEO of a Silicon Valley-based fiber optics company with insider trading[...]
Read ArticleCatherine McGuire to Retire After More Than 40 Years at the SEC
September 19, 2017The Securities and Exchange Commission today announced that Catherine McGuire, Counsel in the Division of Trading and Markets, is retiring[...]
Read ArticleCatherine McGuire to Retire After More Than 40 Years at the SEC
September 19, 2017The Securities and Exchange Commission today announced that Catherine McGuire, Counsel in the Division of Trading and Markets, is retiring[...]
Read ArticleASK YOURSELF: Are You Ready for Potential SEC Scrutiny After Harvey?
September 18, 2017When Hurricane Harvey made landfall in Texas on August 25 of this year, and Hurricane Irma reached land in Florida[...]
Read ArticleKen C. Joseph, Head of Investment Adviser/Investment Company Examination Program in SEC’s New York Regional Office, to Leave SEC After 21 Years of Service
September 15, 2017The Securities and Exchange Commission today announced that Ken C. Joseph, Head of Investment Adviser/Investment Company Examination Program in the[...]
Read ArticleKen C. Joseph, Head of Investment Adviser/Investment Company Examination Program in SEC’s New York Regional Office, to Leave SEC After 21 Years of Service
September 15, 2017The Securities and Exchange Commission today announced that Ken C. Joseph, Head of Investment Adviser/Investment Company Examination Program in the[...]
Read ArticleSunTrust Charged With Improperly Recommending Higher-Fee Mutual Funds
September 14, 2017The Securities and Exchange Commission today charged the investment services subsidiary of SunTrust Banks with collecting more than $1.1 million[...]
Read ArticleSEC Monitoring Impact of Hurricane Irma on Capital Markets, Continues to Monitor Impact of Hurricane Harvey
September 13, 2017The Securities and Exchange Commission is closely monitoring of the impact of Hurricane Irma on investors and capital markets, and[...]
Read ArticleSEC Monitoring Impact of Hurricane Irma on Capital Markets, Continues to Monitor Impact of Hurricane Harvey
September 13, 2017The Securities and Exchange Commission is closely monitoring of the impact of Hurricane Irma on investors and capital markets, and[...]
Read ArticleCommission Statement on T+2 Implementation
September 11, 2017Last week, on September 5, 2017, the securities industry successfully implemented a shortened settlement cycle for most securities transactions, pursuant[...]
Read ArticleCommission Statement on T+2 Implementation
September 11, 2017Last week, on September 5, 2017, the securities industry successfully implemented a shortened settlement cycle for most securities transactions, pursuant[...]
Read ArticleSEC, MSRB, FINRA to Hold Compliance Outreach Program for Municipal Advisors
September 11, 2017The Securities and Exchange Commission, Municipal Securities Rulemaking Board (MSRB), and Financial Industry Regulatory Authority (FINRA) today announced the opening[...]
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